Policy Instruments to Widening Participation and Ensuring Synergies

Transcription

1 Policy Instruments to Widening Participation and Ensuring Synergies S2E event, Budapest, 24/05/2016 Annamaria Zonno, Unit B5 'Spreading Excellence and Widening Participation', DG

2 The Widening Package under H2020 Measures in Horizon 2020 under Spreading Excellence and Widening Participation: - Teaming (institution building) - Twinning (institutional networking) - ERA Chairs (bringing excellence to institutions) - NCPs (information, communication, support) - Policy Support Facility (support for R&I Policy design) - COST ( stimulating cross border science networks) Total Budget in H2020 ~ 800 million 2

3 Teaming Creation of new (or significant upgrade of existing) Centres of Excellence in low R&I performing or "Widening" countries The Partnership: the COORDINATOR from a "Widening" country (must be a national/regional authority, research funding agency, university or res. organisation) university or res. organisation with an international reputation in R&I excellence (from all EU28 or AC) Implementation in 2 Phases 3

4 Teaming: Scheme Design Phase 2: Subject to the quality of the Business Plan, and the financial commitment for the project from other sources, the Commission may provide further substantial financial support for the first steps of implementation of the Centre Proposals (Phase 2): Business Plan (Phase 1 deliverable) with robust financial commitments (national/esif/ipa/private funds) IMPORTANT: Access to Phase 2 is only available to those proposals already supported in Phase 1! 5

5 Teaming under the WP Phase 1 Call : Business Plan for a Centre of Excellence (CoE) Budget: 12 million Call publication: 14 October 2015 Call opening: 28 July 2016 Call deadline: 15 November 2016 Project Size: 400,000 (eligibility condition) Project Duration: 12 months (eligibility condition) Funding for: Business Plan Implementation: Coordination and Support Action 6

6 Teaming under the WP Phase 2 (Restricted) Call in 2018: Startup/Implementation of the CoE Project size & duration: ~ 15 million & 5-7 years Implementation: Coordination and Support Action Funding for: Substantial support for the start-up phase of the CoE (administrative, personnel and operational costs as well as very limited support for equipment and consumables) More information for Phase 2 in the future

7 Teaming call main novelties FPA/SGA concept dropped Standard call in Phase 1 Restricted call in Phase 2 Clarity in WP on organisation type for the coordinator >> EC to provide a template of a letter of intent in case coordinator not a public authority Broad alignment with RIS3 or equivalent growth strategy (ACs) Specific evaluation sub-criterion under Excellence IPA II mentioned explicitly as a potential source of complementary funding for Phase 2 (Associated Countries) 8

8 Teaming: Lessons learned Successful proposals marked by: - Clear objectives / vision /excellence, engaging strategically in a path of innovative growth - Well-chosen, carefully structured partnership & strong engagement from parties - Long term science and innovation strategy - Broad alignment with national/regional Smart Specialisation Strategies - Long-term financial commitments from relevant authorities - Clear strategy on handling resources For the next call proposers should: - Clarify better their vision - Make clear pointers to integration with medium to long term growth strategies - Have clear plans on organisational and resource related issues 11

9 ERA Chairs - Objectives Objectives : - Bring high quality researchers and managers (the ERA Chair and his/her team) to universities and other research organisations with the potential for research excellence. - Institutions should implement structural changes to achieve excellence on a sustainable basis. Participants One single applicant (mono-beneficiary action) located in a Widening country. 12

10 ERA Chairs: Proposal Design & Impact Bottom-up approach but connected with the ERA Chair holder expertise to fully capitalise on his/her presence; foster ERA priorities (open recruitment, peer review, gender balance, etc.); increase Research Capacity - if infrastructures foreseen present a strategy for funding (including possible from use of ESIF funding). Increased attractiveness of institution and region for excellent researchers; Research excellence in the fields covered by the ERA Chair; Improved capability of the institution to succeed in competitive research funding; Institutional changes to comply with ERA priorities. 13

11 ERA Chairs: The ERA Chair holder - The ERA Chair should be an outstanding researcher and research manager with a proven record of leadership; - The ERA Chair appointment must follow an open and merit-based recruitment process - to be subjected to monitoring by the European Commission; - ERA Chair holder should be appointed in a full time position but part-time arrangements are possible; - The institution should ensure autonomy for the Chair and his/her team; -ERA Chairs can be of any nationality. 14

12 ERA Chairs: Eligible costs Salaries of ERA Chairs and his/her team. Contribution towards measures aimed at facilitating structural changes at the institution: - ERA priorities; Costs including training, meetings, publication and patenting costs, equipment (minor part of budget and duly justified); The grant will not cover for infrastructures and research costs! 15

13 ERA Chairs: Call 2017 Budget: million Call publication: 14 October 2015 Call opening: 12 April 2017 Call deadline: 5 October 2017 Project Size: up to 2.5 million (eligibility condition) Project Duration: up to 5 years (eligibility condition) Implementation: Coordination and Support Action 16

14 ERA Chairs: Lessons learned - Clearly define objectives towards institutional changes - Demonstrate the role and autonomy of the ERA Chair holder - Work Packages should be consistent and contribute to an overall Action Plan - Management structures need to be well defined and simple. 19

15 Twinning: Aim, Objectives & Partnership Strengthen a defined field of research in a university or research organisation from a Widening country by linking it with at least two internationally-leading research institutions in other Member States or Associated Countries. Enhance the S&T capacity of the institutions-focus on institution in Widening country Raise the research profile of the institution and of its research staff 20

16 Twinning: Partnership The Partners: (Minimum Conditions) - ONE institution located in a "Widening" MS/AC (COORDINATOR) - A minimum of TWO additional partners from two different MS or AC other than the country of the coordinator. 21

17 Twinning: Proposal Design & Impact Scientific strategy for excellence and innovation in a defined area of research; Outline the scientific quality of the partners; Activities supported: Short term staff exchanges; expert visits and short-term training; workshops; conference attendance; dissemination and outreach activities. Expected Impact: - Research excellence, in particular, in the selected field of research; - Improved capability to succeed in competitive research funding; - Enhanced reputation, attractiveness and networking; - The expected potential impact of the project illustrated by a number of indicators. 22

18 Twinning: Costs & Call 2017 details Eligible Costs: - Coordination and networking; - Dissemination and outreach activities. Infrastructure, equipment & research costs will NOT be funded. Twinning Call 2017: Budget: 20 million Call publication: 14 October 2015 Call opening: 11 May 2017 Call deadline: 15 November 2017 Project Size: up to 1 million (eligibility condition) Project Duration: up to 3 years (eligibility condition) Implementation: Coordination and Support Action 23

19 Twinning: Lessons learned Lessons learned for future calls: - Clear definition of the scientific strategy towards excellence in the relevant research field; - Better illustration of the scientific qualities of "advanced" partners and their added value to the project; - Outline the expected impact of the twinning exercise on the institution in the Widening country (and even at the national/regional level) based on specific indicators. 26

20 THE SEAL OF EXCELLENCE BUILDING SYNERGIES TO MAXIMISE QUANTITY, QUALITY AND IMPACT OF RESEARCH AND INNOVATION INVESTMENTS FOR JOBS AND GROWTH POLITICAL MANDATE -> LEGAL BASIS -> COMMITMENT ->

21 THE SEAL OF EXCELLENCE Key Features Horizon 2020 evaluation: Funding threshold due to H2020 budget availability Funded Excellent proposals receive the SEAL OF EXCELLENCE certificate Quality threshold: Meriting funding Rejected: not ready for funding Certificate by the Commission awarded to Pilot using the SME Instrument Close to intervention logic of ESIF authorities Single company Small scale R&I actions Close to market Regions/MS taking-up 'seal of excellence' proposals: Benefit from pre-screening by H2020 Make the most of a unique, high quality evaluation process Better use the resources Invest on high local impact proposals 29

22 FEATURES OF THE CERTIFICATE The SEAL OF EXCELLENCE: XXXX XXXXXXXXXX TITLE XXXXXXXXXXXXXXXX XXXXXXXXXXXXX TOPIC XXXXXXXXXXX Xx Legal name xx Xx Legal address xx Awarded to ALL qualifying SME instrument PROPOSALS Downloadable only by the SME/s from 'My area' in Participants Portal Informs Builds reputation Explains Shows political committment Fraud-proof Accompanying letter 30

23 The SME INSTRUMENT AND THE SEAL: Who - When EU Grant of 50,000 (lump sum) EU Grant of 500,000 to 2.5 million (indicative amount) No grant, but Training support Market and Investment Readiness support Promotion / networking with financiers & clients and more indirect support! Source: RTD B3

24 SME instrument & the value of the Seal Very Competitive: Highly popular: (Phase 1); 4798 (Phase 2) Many deserving, few funded: More than 2300 are NOT funded (these have by now all received the Seal of excellence) 32

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26 SMEs and THE SEAL SMEs usually welcome the Seal and understand its value. Expectations have to be managed. > A great opportunity, but process just starting: be patient! > No guarantee of 'automatic' alternative funding and/or to the funding intensity of H2020 / No to be used for DOUBLE FUNDING > Search pro-actively > Voluntary (no obligation!) > Make available to the funder ALL documents at your disposal (Full Proposal, Evaluation Summary Report,...) > DIVERSIFY your search for funding, in terms of sources (public (ESIF or own resources) / private) and type (grants / financial instruments) 34

27 KEY MESSAGES TO ALTERNATIVE FUNDING SOURCES (ie: Managing authorities, national/regional agencies, private foundations, banks, VCs, business angels) > Great opportunity to exploit H2020 first-class evaluation system : leading to gain time, use resources efficiently in a period of scarce resources and increase R&I performance and impact at local level > Keep the process as simple as possible: no need to re-evaluate the content > Different support can be provided: grants/loans/guarantee/ general support > The Commission services support funding bodies interested in taking up these projects, through the COMMUNITY OF PRACTICE 35

28 COMMUNITY OF PRACTICE: FEATURES The COMMUNITY OF PRACTICE (CoP): Purpose: Exchange of know-how on the best ways to implement the 'seal of excellence' approach through ESIF Creation: by the Commission in July 2015 following the presentation of the 'Seal' concept at EGESIF meeting Membership: on voluntary basis, restricted to National or Regional authorities that have a funding power and other Funding Agencies for Innovating SMEs (including private banks and investors) committing to set up 'Seal-friendly' schemes Working Methods: Regular meetings + IT platform SINAPSE FOR JOINING : RTD-SEAL-OF -EXCELLENCE@ec.europa.eu 36

29 COMMUNITY OF PRACTICE: FIGURES > Membership as of March 2016: 134 members from 24 MS > Members only at national level (MSs): CY; DK; EE; EL; FI; HR, HU, IE, LT; LV; NL, PL; RO; SE; SI; SK Both national and regional level: AT (Carintia, Lower Austria); BE (Flander); CZ (South Moravia); DE (NRWestphalia, Berlin, Sachsen-Anhalt, NiederSachsen); ES (Aragon, Asturia, Galicia, Cantabria, Andalucia, Catalonia); FR (Centre, Alsace; Loire; Basse Normandie, Bretagne); IT (Puglia, Umbira, Piemonte, Trentino, Abruzzo, Emilia Romagna, Calabria, Lazio, Sicilia, Trentino); PT (Azore); UK (Scotland, Northern Ireland - Wales) > HORIZON 2020 ASSOCIATED COUNTRIES (NO) > PRIVATE FOUNDATIONS (IT) ; Funding agencies 37

30 SEAL OF EXCELLENCE: ACHIEVEMENTS (2/2) CURRENT 'Seal'-friendly actions: Targeted calls for 'Seal proposals' Phase 1 (very soon: Lombardy, Spain, Vinnova-Sweden; Norway,..) Support service package for 'seal proposals' (Tekes-Finland, Norway, ) Calls to support Phase 2 (grant/financial instruments) (soon: Italy nat. OP Southern regions, Lombardy, Poland, Trento, Cyprus..) 38

31 Links and documents SYENRGIES and SEAL OF EXCELLENCE WEBSITE: MORE INFO: to: Guide for authorities on synergies between ESIF and Horizon2020 and other EU programmes: other/index.html Horizon 2020 regulations & rules for participation, ocs.html Evaluation procedure of the SME Instrument sme_participation.html 39

32 Thank you for your attention! DG Research & 40